How regulations ,Rules followed by S.E.B.I

1. Regulation of
in
Stock trading
Welcome to All…
SHANSON SHAJI
15-PEC-25

2. AN OVER VIEW….
B.S.E (Bombay stock exchange) N.S.E (National stock exchange)

3. ESTABLISHMENT OF SEBI
The Securities and Exchange Board of India was established on
April 12, 1992 in accordance with the provisions of the
Securities and Exchange Board of India Act, 1992.

4. PREAMBLE
The Preamble of the Securities and Exchange Board of India describes
the basic functions of the Securities and Exchange Board of India as"...to
protect the interests of investors in securities and to promote the
development of, and to regulate the securities market and for matters
connected therewith or incidental thereto"

5. 4 main Legislation governing the security
market are the following…..
S.E.B.I Act 1992;Which establishes S.E.B.I to protect investors and develop
and regulate security market.
The companies Act 1956;Which set out the code of conduct for the corporate
sector in relation to issue; allotment and transfer of securities and disclosures
to be made in public issues.
The securities contract (regulation) Act 1956;Which provides for regulation
of transfer in securities through control over stock exchanges.
The Depositories Act 1996;Which provides for electronic maintance and
transfer of ownership of demat securities.

6. Statutory powers of S.E.B.I.
Protecting the interest of investor in securities.
Promoting the development of the securities
market.
Regulating the security market.
Under this Act , S.E.B.I has full Autonomy
and authority to regulate and develop an
orderly security market.
The responsible for the regulation of the
security market is shared by
I. Department of economic affairs(DEA)
II. Reserve bank of India(R.B.I)
III. Security exchange board of
India(S.E.B.I)

7.  Providing Licence to dealers
and brokers.
 Auditing the performance of
various stock exchange.
 Controlling merge, acquisitions
and take –overs of the
company.
 Prohibiting unfair trade
practices in the market.

8. Rules and Regulations
 During trading B.S.E. and N.S.E. stock market opens at 9:00 am.
 The pre-open market start at 9:00-9:07am.
 During trading B.S.E. and N.S.E. stock market close at 3:30 pm.
 The closing market start at 3:30-4:00pm.
 The duration of the offer for sale shall be as trading hours of the
secondary market and shall not exceed one trading day.
 The placing of order on the exchange system shall take place only
during trading hours.

9. • Each client is given information regarding the market through
telephone and via e-mail.
• After trading hours each client is given
information regarding the stock they have
brought and sold/holding.
• If research team given proper analysis
regarding the market information to the
clients so that he /she can Buy/Sell/Hold
according to their ability.

23. By
SHANSONSHAJI